SEC
The U.S. Securities and Exchange Commission regulates securities markets, public-company reporting and investment intermediaries.
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Compliance Practice
SEC Fines Haywood Securities USA $750,000 for AML and SAR Failures
The U.S. Securities and Exchange Commission has censured Haywood Securities (USA) Inc. and imposed a $750,000 civil penalty over failures in its anti-money laundering controls…
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Enforcement & Cases
SEC Creates Unit for Accounting and Reporting Fraud
The SEC has established a specialised enforcement unit focused on accounting and financial reporting misconduct.
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